Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames R. Escobar is an investment advisor representative at Corient. James has been in the securities industry since June 2006, and currently holds registrations in 53 states. James is a Certified Financial Planner and holds the Series 6, 7, 63, 65, 66, 7TO and SIE licenses. James has experience working at several financial institutions, including HSBC Securities (USA) Inc., Nuveen Investments, LLC, and Chase Investment Services Corp. James is also registered with Geneva Advisors - CIBC World Markets Corporation. Corient provides a wide range of investment advisory services, including portfolio management, financial planning, pension consulting, educational seminars, market timing services, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
% of assets under advisement
1
2
IL
10/23/2024 - Present
Corient (Chicago IL)
NY
01/23/2008 - 12/02/2008
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
IL
07/13/2006 - 08/09/2006
NUVEEN INVESTMENTS, LLC (CHICAGO IL)
IL
07/06/2005 - 06/21/2006
CHASE INVESTMENT SERVICES CORP. (MELROSE PARK IL)
IL
11/03/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 07/09/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/24/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2022
Series 7TO - General Securities Representative Examination
BC
Issued 04/23/2022
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2004
Series 7 - General Securities Representative Examination
BC
Issued 10/31/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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